-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Su3f5PgDKTKdUYr8NzeXuLcimHFz3itjMJ5rCSgLDYD7uEMTpsxZJIsFFDZCQtkp gTuMDp63V8QA8Om2w0MZbg== 0000950109-97-000909.txt : 19970221 0000950109-97-000909.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950109-97-000909 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NASD GROUP MEMBERS: BA VENTURE PARTNERS I GROUP MEMBERS: BANK OF AMERICA NT&SA GROUP MEMBERS: BANKAMERICA CORP GROUP MEMBERS: BANKAMERICA VENTURES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AURUM SOFTWARE INC CENTRAL INDEX KEY: 0000887784 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770292260 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49057 FILM NUMBER: 97524913 BUSINESS ADDRESS: STREET 1: 3385 SCOTT BLVD. CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089868100 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKAMERICA CORP CENTRAL INDEX KEY: 0000009672 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 941681731 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CTR STREET 2: 555 CALIFORNIA ST CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4156223530 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___________)* Aurum Software Inc - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 05208A106 ---------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 4151299 Page 1 - ------------------------ CUSIP No. 05208A106 13G - ------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BankAmerica Corporation 94-1681731 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 949,366 --------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- --------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 949,366 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 949,366 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* HC - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4151299 Page 2 - ------------------------ CUSIP No. 05208A106 13G - ------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bank of America NT&SA 94-1678665 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES -0- --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 949,366 --------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- --------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 949,366 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 949,366 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* BK - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4151299 Page 3 - ------------------------ CUSIP No. 05208A106 13G - ------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BankAmerica Ventures 95-6016836 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 854,430 --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 94,936 --------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 854,430 --------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 94,936 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 949,366 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4151299 Page 4 - ------------------------ CUSIP No. 05208A106 13G - ------------------------ - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BA Venture Partners I 94-3229889 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 94,936 (Items 4 & 7) --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY -0- --------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 94,936 (Items 4 & 7) --------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 94,936 (Items 4 & 7) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 .9% (Items 4 & 7) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4151299 Page 5 SCHEDULE 13G Item 1(a) Name of Issuer: Aurum Software Inc (b) Address of Issuer's Principal Executive Offices: 3385 Scott Boulevard Santa Clara, CA 95054 Item 2(a) Names of Person Filing: BankAmerica Corporation ("BAC") Bank of America NT&SA ("BANTSA") BankAmerica Ventures ("BAV") BA Venture Partners I ("BAVPI") See Item 7 (b) Address of Principal Business Offices: (For BAC and BANTSA) 555 California Street San Francisco, CA 94104 (For BAV and BAVPI) 950 Tower Lane, Suite 700 Foster City, CA 94404 (c) Citizenship: BAC is organized under the laws of Delaware. BAV is organized under the laws of California. BANTSA is a national banking association organized under the laws of the United States. BAVPI is organized under the laws of Delaware. (d) Title of Class of Securities: Common stock (e) CUSIP Number: 05208A106 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a:* (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [X] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 ___________ * Not applicable as to BAV and BAVPI since they are filing this statement under Rule 13d-1(c). 4151299 Page 6 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see (S)240.13d-1(b)(1)(ii)(F) (g) [X] Parent Holding Company, in accordance with (S)240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with (S)240.13d-1(b)(1)(ii)(H) Item 4 Ownership (a) Amount Beneficially Owned:* BAC 949,366 BANTSA 949,366 BAV 949,366 BAVPI 94,936 (b) Percent of Class:* BAC 8.5% BANTSA 8.5% BAV 8.5% BAVPI .9% (c) Number of shares as to which such person has: (i) sole power to vote or direct the vote:* BAC 0 BANTSA 0 BAV 854,430 BAVPI 94,936 (ii) shared power to vote or direct the vote:* BAC 949,366 BANTSA 949,366 BAV 94,936 BAVPI 0 (iii) sole power to dispose or direct the disposition of:* BAC 0 BANTSA 0 BAV 854,430 BAVPI 94,936 (iv) shared power to dispose or direct the disposition of:* BAC 949,366 BANTSA 949,366 BAV 94,936 BAVPI 0 * By virtue of the corporate relationships between Reporting Persons as described in Item 7, BAC (the parent company) may be deemed to possess indirect beneficial ownership of shares beneficially owned directly by its subsidiaries. Similarly, higher tier BAC subsidiaries may be deemed to possess indirect beneficial ownership of shares beneficially owned directly by lower tier BAC subsidiaries. The power to vote and to dispose of shares may be deemed to be shared between entities due to their corporate relationships. Also, BAVPI is the direct beneficial owner of certain of Issuer's shares. By virture of the partnership relationship between BAVPI and its individual partners as described in Item 7, the individual partners may be deemed to posses indirect beneficial ownership of shares beneficially owned directly by BAVPI. The power to vote and to dispose of shares may be deemed to be shared between the partners due to their relationship to each other and BAVPI. 4151299 Page 7 Item 5 Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6 Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7 Identification and Classification of the Subsidiaries Which Acquired the Security Being Reported on by the Parent Holding Company. See Item 2. Except for BAVPI and BAVPI'S individual partners, the entities described below are direct or indirect wholly-owned subsidiaries of BAC, which is a registered bank holding company. BANTSA is a bank as defined in section 3(a)(6) of the Act. BAV and BAVPI are filing this statement under Rule 13d-1(c). BAV is a corporation and is the BAC subsidiary that holds the direct investment in the issuer. BAVPI is a partnership that is related to BAV. The partners of BAVPI include: James D. Murphy, a general partner, residing in the state of California; Jess Marzak, a general partner, residing in the state of California; Anchie Kuo, a general partner, residing in the state of California; Robert Obuch, a general partner, residing in the state of California; and Rory O'Driscoll, a general partner, residing in the state of California. By virtue of these individuals being partners of BAVPI, they may each be deemed to indirectly beneficially own the ownership interest of the Issuer held by BAVPI. Similarly the partners may be deemed to share voting and/or investment power among themselves and with BAVPI in the Issuer due to the partners' indirect interest in the Issuer through BAVPI. Each partner disclaims beneficial ownership of all shares of Common Stock owned by BAVPI. Item 8 Identification and Classification of Members of the Group. See Item 7. Item 9 Notice of Dissolution of Group. Not Applicable. Item 10 Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 4151299 Page 8 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. BankAmerica Corporation Dated: February 12, 1997 By /s/ JOHN J. HIGGINS ---------------------------------- John J. Higgins Executive Vice President 4151299 Page 9 Exhibit A AGREEMENT RE JOINT FILING OF SCHEDULE 13G The undersigned hereby agrees as follows: (i) Each of them is individually eligible to use the Schedule 13G to which this Exhibit is attached, and such Schedule 13G is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate. Dated: February 12, 1997 BANKAMERICA CORPORATION By: /s/ JOHN J. HIGGINS --------------------------------- John J. Higgins Its: Executive Vice President Dated: February 12, 1997 BANK OF AMERICA NT&SA By: /s/ JOHN J. HIGGINS --------------------------------- John J. Higgins Its: Group Executive Vice President Dated: February 12, 1997 BANKAMERICA VENTURES By: /s/ ERICK CHRISTENSEN --------------------------------- Erick Christensen Its: Vice President Dated: February 12, 1997 BA VENTURE PARTNERS I By: /s/ ANCHIE KUO --------------------------------- Anchie Kuo Its: General Partner 4151299 Page 10 Board of Directors Adopted: November 1, 1993 BankAmerica Corporation Last amended: August 1, 1994 GENERAL OPERATING AND BORROWING RESOLUTION (Excerpts from) ---------------------------------------------------------- 1. Any two BAC officers listed below under the designation "Group 1" (the "Officers"): GROUP 1 ------- the Chairman of the Board the Chief Executive Officer the President any Vice Chairman of the Board any Vice Chairman the Chief Financial Officer the Treasurer any Executive Vice President any Senior Vice President any Vice President the Secretary 2. Any one BAC officer listed above under either the designation GROUP 1 or GROUP 2, or any member of the Legal Department of Bank of America NT&SA holding the title of counsel or a title senior thereto be, and hereby is, authorized to sign registrations, reports, certificates, applications and other writings on behalf of BAC for submission to or filing with any federal, state, local or foreign regulatory authorities, and any amendments, withdrawals, or terminations thereof, as are deemed desirable by such officer or attorney in connection with BAC's activities or affairs. 4126526.01 Board of Directors November 4, 1996 Bank of America NT&SA GENERAL OPERATING RESOLUTION (Excerpts from) -------------------------------------------- The Board of Directors of Bank of America NT&SA ("BofA") authorizes and determines as follows: 1. Certain officers of BofA ("Authorized Signers") are authorized to act on behalf of BofA as set forth in the attached "Signing Authorities Chart." 2. For the purposes of this resolution, "OFFICER" refers to a BofA officer holding one of the officer titles listed below, and "OFFICER" refers to any BofA officer. The incumbency of any officer may be certified by the Secretary or any Assistant Secretary. References in this resolution to the ranking of officer titles refers to the ranking shown in the following list of Officers: the Chief Executive Officer ("CEO") the Chairman of the Board the President any Vice Chairman of the Board ("VC of the Bd") the Chief Operating Officer ("COO") any Vice Chairman ("VC") the Chief Financial Officer ("CFO") any Group Executive Vice President ("GEVP") any Executive Vice President ("EVP") any Senior Vice President ("SVP") the Cashier the Secretary the Treasurer any Managing Director any Senior Authorized Officer any Vice President ("VP") any Assistant Vice President any Authorized Officer any Senior Trust Officer any Trust Officer any Assistant Secretary any Assistant Cashier VI. REGULATORY MATTERS Action or Transaction Authorized Signer(s) Execution of any document or Any one Officer at the other writings and any level of VP or above, amendments, withdrawals or or any one attorney in terminations thereof for the Legal or Tax submission to or filing with Departments of BofA any federal, state, local or holding the officer foreign regulatory authorities. title of Counsel or above. 4126528 Board of Directors February 14, 1995 BankAmerica Ventures GENERAL OPERATING RESOLUTION (Excerpts from) -------------------------------------------- 4. The Board of Directors of this corporation authorizes any officer of this corporation, or any attorney in the Legal Department of Bank of America NT&SA with the title of counsel or a title senior thereto to sign registrations, reports, certificates, applications and other writings on behalf of this corporation for submission to or filing with any federal, state, local or foreign regulatory authorities, and any amendments, withdrawals, or terminations thereof, as the officer or attorney deems appropriate. 4126293 -----END PRIVACY-ENHANCED MESSAGE-----